
Vice President
1 week ago
**Vice President - APAC Middle Office Operations Oversight, Risk and Controls**
This role is part of our APAC Middle Office Operations reporting to the Head of APAC Middle Office.
**Risk and Control Management duties and responsibilities of the job**
- Assist in the effective governance and management of risks in the first line of defense, and driving the implementation of risk issues / actions on a timely basis
- Promote accountable risk and control decision-making based on quality data analysis
- Enable the business to clearly, consistently and comprehensively articulate the risk profile of the business/service/process including the integrity of processes and controls
- Support functional operation leads in identifying anomalies in control effectiveness or the aggregation of risks that may take the risk profile of the business outside of tolerance
- Assess and promote improvements to the Accountability, Roles and Responsibilities for a given set of activities
- Support functional operation leads through proactive advice based on risk and control knowledge and insights and present risk management solutions where appropriate
- Identify trends to anticipate future developments in the risk and control environment
- Actively challenge poor, inefficient or excessive controls, related tasks and behaviors and engage in the development of more efficient and streamlined processes
- Challenge functional operation leads on the design and implementation of control monitoring to confirm it is fit for purpose
- Promoting desired behaviors and a positive risk culture, and supporting the delivery of the conduct outcomes
- Develop close and constructive relationships with stakeholders across 3 lines of defense
- Conducting investigations and liaising with key stakeholders on any operational risk events
- Business Continuity Management (BCM) Coordinator for APAC Middle Office: Ensure close oversight of the Citi Continuity of Business (CoB) program adherence at the site
- Records Management Officer and Review party for APAC Middle Office: Ensure records are managed in accordance to the Records Management Policy
- EUC Coordinator for APAC Middle Office: Ensuring all EUC standards are met for the region and issues escalated timely
- Ensure all risk reporting for APAC Middle Office are prepared and reviewed before submission. Risk actions from governance meetings are followed through completion
- Ensure Information Security Risk is managed in accordance to the standards set for the bank
Managers Control Assessment (MCA):
- Develop and manage the risk assessment framework through MCA (Manager’s Control Assessment) for APAC Middle Office.
- Data gathering of APAC Middle Office for review and deliberation with Assessment Unit Heads
- Assisting in Annual Risk Assessment process with inputs from APAC Middle Office Operations Heads to ensure activity and risk coverage and consistent risk ratings
Continuous monitoring of Significant Process, Risk and Controls for Operations as well as shared services functions
- Work with functional operation leads on continuous enhancement and monitoring methodology
- Drive efficiency enhancement initiatives e.g. ORE and EUC monitoring, Key KPI monitoring that are risk related
- Ensure appropriate Corrective actions plans are put in place for any operational events and KRI breaches
Manage Internal / External Reviews:
- Manage annual testing for Operations processes is completed in time with no material observations
- Coordinating and assisting client initiated and regulatory required Due Diligence to ensure no material observations
- Participate and assist in E2E pre, present and post Internal Audit conducted for the APAC sites
- Reporting to the Middle Office Site Head and Senior Leadership team on all Issues and corresponding CAPs across all Operations and Functions to ensure timely remediation of all the issues
- Coordinate E2E External Audit reviews for APAC Middle Office sites in scope to ensure no delays in providing population list and samples
- Organize weekly meeting with External Auditors during external audit period to ensure sample deliverables and issues are escalated in a timely manner
- Ensure material issues are escalated immediately to Site and Regional Head
Process Deep Dives:
- Drive /participate in Process Deep Dive reviews and follow up with respective functional operation units to ensure timely closure of identified issues. In case of any perceived / potential overdue issues, ensure timely escalation.
- Ensure appropriate corrective actions plans are put in place for any observations raised as a part of the review and followed through to completion
Business Management:
- Coordinate the monthly MIS/ KPI reporting for APAC Middle Office as well as APAC Securities Services Operations
- Manage the APAC Middle Office presentation for new client RFP (Request For Proposal) and client service reviews
- Liaise with functional operation leads for Head Count estimation and sub
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